| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CMI | Common | Gift | $0 | -1.8 K | -2.75% | $0.00 | 63.6 K | Aug 17, 2022 | Direct | |
| transaction | CMI | Common | Options Exercise | $57.7 K | +516 | +0.81% | $111.84 | 64.1 K | Aug 26, 2022 | Direct | |
| transaction | CMI | Common | Sale | -$119 K | -516 | -0.8% | $230.05 | 63.6 K | Aug 26, 2022 | Direct | |
| transaction | CMI | Common | Sale | -$1 M | -4.35 K | -6.84% | $230.19 | 59.3 K | Aug 26, 2022 | Direct | |
| transaction | CMI | Common | Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities | -$196 K | -854 | -27.49% | $228.97 | 2.25 K | Aug 25, 2022 | By 401(k) Plan | F1, F2, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CMI | Stock Option (Right-to-Buy) | Options Exercise | $0 | -516 | -4.33% | $0.00 | 11.4 K | Aug 26, 2022 | Common | 516 | $111.84 | Direct | |
| holding | CMI | Stock Option (Right-to-Buy) | 24.3 K | Aug 25, 2022 | Common | 24.3 K | $109.09 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 11.2 K | Aug 25, 2022 | Common | 11.2 K | $136.82 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 24.5 K | Aug 25, 2022 | Common | 24.5 K | $142.12 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 8.91 K | Aug 25, 2022 | Common | 8.91 K | $149.34 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 15.6 K | Aug 25, 2022 | Common | 15.6 K | $149.72 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 10.9 K | Aug 25, 2022 | Common | 10.9 K | $160.10 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 15.4 K | Aug 25, 2022 | Common | 15.4 K | $163.43 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 9.25 K | Aug 25, 2022 | Common | 9.25 K | $166.18 | Direct |
| Id | Content |
|---|---|
| F1 | The reporting person made an intra-plan transfer of $195,621.93 out of the Cummins Stock Fund under the Company's 401(k) plan, with the number of shares equal to such amount divided by $228.97, which was the closing price on the date of the transaction. Because the Stock Fund is a unitized account, the actual number of shares and share price is not known. |
| F2 | Includes 95.28 shares acquired under the 401(k) plan since the reporting person's last Form 4. |
| F3 | The number of shares is based on the dollar value of the reporting person's interest in the Cummins Stock Fund under the Company's 401(k) plan as most recently provided by the plan. The actual number of shares underlying the interest is not known since the Cummins Stock Fund is a unitized account consisting of approximately 98% common stock and 2% cash or cash equivalents. |